State Regulation
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations, enforcement actions and related activities.
Fired Wells Fargo Banker Says Her Advisor Boss Abused Her
By Dinah Wisenberg BrinWells Fargo knew about mistreatment by one of its highest producing advisors but nothing changed, a lawsuit alleges.
August 21, 2024
New York Judge Approves Columbian Mutual Life's Rehabilitation OrderA rehabilitator can try to get an insurer back on its feet, rather than liquidating it.
August 16, 2024
IRS Teams With States and Tax Industry to Fight ScamsThe Coalition Against Scam and Scheme Treats aims to quickly alert the public to new and emerging threats.
August 15, 2024
All States Should Offer Online Life Agent Exams, Industry Groups SayCritics predict that returning to in-person-only testing will hurt rural candidates and weaken diversity.
August 13, 2024
Life and Annuity Illustrations Confuse Clients, Advisor Tells RegulatorsPerformance charts should be more realistic about the impact of bad years, Richard Weber argues.
August 12, 2024
New Trial Date Set for Former BofA Banker Charged With Merrill Exec's MurderAnthony Duwayne Turner's jury trial in the death of Michelle Avan should begin Sept. 16 in Los Angeles County.
August 09, 2024
IRS Provides Tax Relief to Hurricane Debby Victims in 4 StatesThe relief order applies to all of South Carolina, most of Florida and North Carolina, and part of Georgia.
August 08, 2024
Debate: Were Texas Courts Right to Pause DOL Fiduciary Standard?The injunction applies to both the investment advice fiduciary standard itself and amendments to PTE 84-24.